Careers

So … who is CreativeOne Wealth?

In a nutshell, we help independent financial advisors be the best they can be. As a full-service wealth manager and fiduciary, it is our duty to recommend strategies that we believe are the best for our clients and their unique situation.

What’s it like to work here?

Well, we definitely work hard. But it’s with people you respect and enjoy working with, so that makes the job worth coming to every day. And yep, we’re big believers in being in the office for collaboration and let’s be honest, the camaraderie.

Here, it’s a work climate that respects you and your life outside of the office. You’ll push toward a common goal with some of the industry’s most talented sales teams, the best service teams you can imagine, marketing aficionados, and really, a multitude of individuals who know their stuff who you can learn from as you move forward in your career.

 The Advisor Services Specialist is responsible for the review of requests submitted to the Wealth Operations team via a shared inbox or through the shared phone queue and operations projects as they arise. This position will troubleshoot day to day problems/issues pertaining to new and existing accounts and clients that require a high attention to detail or complicated resolution.

RESPONSBILITIES:

• Assist advisors on requests such as opening accounts, moving money, completing paperwork, running reports, entering trades, etc.
• Resolve issues by working directly with custodians, advisors, and internal team members.
• Communicate on a regular basis with advisors and serve as the liaison between advisors and the custodians (Schwab and Fidelity).
• Work effectively within a small team-oriented operations department.
• Train advisors and their staff across multiple platforms.

PREFERRED SKILLS AND KNOWLEDGE:

• 3+ years of experience in financial services (TAMP/RIA strongly preferred).
• Bachelor’s Degree (Finance, Accounting, Business or Economics degree preferred)
• Experience in a fast-paced environment and ability to prioritize in order to meet tight
• Exemplary problem-solving and organizational skills with the ability to work autonomously and proactively meet client needs.
• Extreme attention to detail and a proven high level of accuracy in work product are expected.
• Experience working with a large custodian (e.g. Charles Schwab, TD Ameritrade, Fidelity, Pershing) required.
• Series 65, 7, or insurance license strongly preferred

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

CreativeOne provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Position Summary

The Compliance Specialist will assist the Chief Compliance Officer in keeping our registered investment advisory firm compliant with federal securities laws through establishing and enforcing controls, best practices, and ethical standards. This position will assist in implementing and coordinating the compliance functions throughout CreativeOne Wealth.  The Compliance Specialist will use knowledge and skills obtained through education, specialized training and/or certification to assist the CCO in supervising a comprehensive compliance and oversight program designed to ensure compliance with all applicable regulatory requirements.

Duties and Responsibilities include, but not limited to:

• Coordinates the onboarding of new investment adviser representatives (“IARs”), which includes performing background checks of new IARs and drafting of Form U-4s, ADV 2Bs.
• Actively monitor and review IAR requests, such as Outside Business Activities and Gifts & Entertainment, submitted via compliance management tool.
• Implement updates to IARs Form U4 and ADV 2Bs as needed.
• Oversee offboarding of IARs by drafting Form U5s and disabling IAR access to compliance systems.
• Enhance and maintain the organizational and record-keeping processes of IAR files and other compliance related folders.
• Assist with supervision of IARs’ written communications, personal trading, investment recommendations, and other activities, such as Branch Exams.
• Assist with the development and delivery of ongoing compliance training for IARs.
• Assist in periodically reviewing and testing written compliance policies and procedures.

Critical Skills Sought

• Strong work ethic and hands-on approach.
• Positive attitude.
• Adaptability to a frequently evolving work environment.
• Customer and business-centric and collaborative mindset.
• Proven ability to communicate effectively at all levels of an organization.
• Strong organizational skills and ability to set and meet deadlines in a high paced environment.
• Eagerness to learn SEC regulations and the Investment Advisers Act of 1940

Preferred Background/Experience

• BA/BS;
• FINRA licenses 65 or 7/66; series 24 a plus.
• Minimum of 2 years’ professional experience as a compliance professional at a broker-dealer, investment advisory or similar firm.
• Familiarity with set up and administration of compliance management software tools, such as MyComplianceOffice,and Smarsh a plus.

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This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

About the job

Are you passionate about being part of a team that delivers extraordinary care to help individuals and businesses prepare for and protect their retirement? If so, then CreativeOne could be the place for you!

Job Description Summary

Do you enjoy connecting with people to promote products that can improve the financial well-being of customers? If you can form meaningful relationships, work in a driven sales environment, and proactively solve challenges while giving outstanding service and support we want to know more about you! As a Hybrid Wholesaler, you’ll market annuity products across the spectrum of our offerings mainly registered and buffered annuities through various financial institutions and financial professionals including banks, wire houses, independent broker dealers, and Registered Investment Advisors (RIAs).

Key Responsibilities:

• Identifies and connects with prospective financial advisors to promote annuity products and services. Maintains relationships with existing advisors to strengthen relationships.
• Consults with advisors by analyzing financial services products to determine the best solutions for their business and clients. Finds opportunities where annuity products make sense and educates the advisor through webinars and primarily virtual meetings on how to incorporate these opportunities into their clients’ portfolios. Evaluates and recommends solutions to marketing strategy and product questions.
• Utilizes internal and external sales and marketing technology and databases to acquire, grow, and retain a group of producers across the United States
• Develops and executes business plans to improve productivity and ensure company objectives are met. Creates and maintains accurate data in building advisor profiles.
• Acts as a liaison with corporate/home office sales and operations teams.
• Provides sales management with weekly updates on sales activity within the assigned territory.
• Provides coaching, mentorship, and development advice to less experienced members of the team. Partners with other wholesalers to cross-sell when appropriate and build a “one team” CreativeOne experience for advisors.
• May perform other responsibilities as assigned.

Preferred Skills and Abilities

• 3 or more years sales experience in the insurance or financial services industry preferred
• Knowledge of insurance products and the consultative sales process preferred
• Very strong interpersonal, presentation, facilitation, and consultation skills.
• Degree or comparable experience in business, sales, finance, marketing or communications preferred
• FINRA Series 6 or 7, Series 63 and State Life/Annuity Insurance Agent licenses required at start of employment or within 6 months of starting role
• Excellent verbal and written communication skills vital for interacting with all levels of customers.
• Ability to build and maintain strong working relationships with business partners.
• Ability to analyze financial services products to determine the best solutions for advisors and their clients.
• Ability to evaluate and recommend solutions to marketing strategy and product questions.
• Must have a drive for results, demonstrate independent judgement and decision making, possess consultative/advising skills, have good time management, and balance multiple priorities.
• Some travel to assigned territories may be required, typically 4-5 trips per year based on scheduled meetings and territory location. Normal office environment when not traveling (Charlotte NC – Mint Hill).

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.